NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05049 Merrill Lynch, Pierce, Fenner, & Smith, Inc., claimant vs. KNA Partners, John Beeson, Paul Sirota, and John Howenstone, respondents. ATTORNEYS: For Claimant appeared Suzanne S. Killian, Esq., of the firm Ogden, Gibson, White & Broocks, LLP, Houston, TX. Respondents did not respond to the Statement of Claim. DATE FILED: November 14, 2000 CASE SUMMARY: Claimant alleged that

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rii M.S. Farreil&Co.,Inc. 93-00469 ft of Respondents Stanley Galka Krakus Realty Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1993, Claimant M.S. Farrell & Co. , Inc. , by and through their in-house counsel James L. Rothenberg, Esq. alleged that John Ba

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lola Pearl 93-00467 Name of Respondents First Albany Corporation Maria Saulino Larry Doyle REPRESENTATION For Claimant Lola Pearl ("Pearl"): Ruthann Niosi, Esq. For Respondent First Albany Corporation ("First Albany"): James M. Reilly, Esq. of Herzog, Engstrom & Koplovitz. For Respondent Maria Saulino ("Saulino"}: M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECI7RITTES DEALERS. INC. [n the maner of the Arbitration Between Name of Clajmant Speiman & Co., Inc. NASD Arbitration No. 93-00466 v. Name pf Respondent Sharon P. Saunders v. Name of Counter-Claimant Richard P. Woltman REPRESENTATION For Speiman & Co. and Richard Woltman: Kevin K. Fitzgerald, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California. For Sharon Saunders: Michael A.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Craig R. Whited v. Name of Respondent Bear Stearns & Company, Inc. Arbitration No. 93-00465 REPRESENTATION For Claimant: , For Respondent: *:. : O "Vf^ ' - \^ •• •'*?'- * n Robert A. Graham, Jr.,!Bsq ^^Kfe^i^.'youiijg A Logan " liong '/Beach, California CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Estate of Henrietta Tucker vs. 93-00457 Name of Respondents Shearson Lehman Brothers, Inc. Bertram H. Aber REPRESENTATION For Claimant Gloria Greenhut, executrix of the Estate of Henrietta Tucker. For Respondent Shearson Lehman Brothers, Inc.: Mary E. Reisert, Esq. in-house counsel at Shearson Lehman Brothers, Inc. Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David and Mary Dentler 93-00456 Name of Respondents Shearson Lehman Brothers, Inc. Bradley T. Forman REPRESENTATION Claimants David and Mary Dentler ("Claimants") were represented by Mark E. Lovett, Esq. of the firm of Hartman, Underbill & Brubaker, 221 East Chestnut Street, Lancaster, PA 17602-2782. Respondents Shears

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants'! George G. Frederick 93-00453 Name of Respondentf s) Dean Witter Reynolds Inc. Kevin Kuhn CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on February 9, 1993, claimant George G. Frederick, who appeared pro se, alleged that Respondents Dean Witter Reynolds, Inc. and Kevin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jean A. Robinson 93-00449 Name of Respondents Atlanta-One, Inc. James Lukes Craig Cunningham Brian Moore REPRESENTATION For Claimant, Jean A. Robinson ("Robinson"); Allan Fedor, Esq. of Fedor and Fedor, Largo, Florida. For Respondents, Atlanta One, Inc. ("Atlanta One"), James Lukes ("Lukes"), Craig Cunningham ("

N.A.5.D. AWARD ASSOCIATION OF 8BOTMTIB8 DB&ttU In" th« Matter of the Arbitration Between Name of Claimants John and Irene Homan 93-00447 Kane of Respondents ^•M^^^^*«w^^^^^^^^"^«"™^» Shearson Lehman Hutton and Robert A. Connell RJBPMSEOTATIO* Claimants John and Irene ("Roman") were represented at the hearing by Frederick C. Kramer, Esq. of Marco Island, Florida. / Respondents Shearson Lehman Hutton and Connell ( "Shearson "q were